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How to Apply for a FINRA Examination

In order to take a FINRA (Financial Industry Regulatory Authority) examination, you must be associated with or employed by a FINRA member firm unless you wish to take the Series 63, 65, or 66 examination, or you have an application pending in our state that requires you to qualify by examination.

If one of these exceptions from association or employment with a FINRA member firm applies, you may register to take the required exam by submitting a Form U10 to FINRA online.